complaint together with relevant facts and evidence via the cahnnels below (24 hours everyday). The complaint will be handled by a special committee to ensure transparency and fairness. HR Director Tel/Fax
should disclose all known potential conflicts of interest to their principal and explain how these are dealt with so as to protect their beneficiaries’ or clients’ interests. The responsibility for
securities and derivatives business. Accordingly, investors will be protected in that their investment money will be segregated from that of the business operators while investments will be handled and
/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that
with talents. However, some audit firms dealt with this problem by hiring a great number of temporary or outsourced staff whose roles and responsibilities were the same as their permanent counterparts
in the company’s strategy and capital allocation. Risk should be managed accordingly in a rational, appropriately independent, dynamic and forward-looking way. This process of managing risks should be
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a